Accountability in
Enforcement
Governance
Accountability ensures actions and
decisions taken by public officials are
subject to oversight so as to
guarantee that government
initiatives meet their stated
objectives and respond to the needs
of the community they are meant to
be benefiting, thereby contributing
to better governance and poverty
reduction.
Accountability is one of the cornerstones of
good governance; however, it can be
difficult for scholars and practitioners alike
to navigate the myriad of different types of
accountability. Recently, there has been a
growing discussion within both the
academic and development communities
about the different accountability typologies.
This Note outlines the present debate
focusing on the definition and substance of
different forms of accountability and
considers the key role that legislatures play
in ensuring accountability.
What is Accountability?
The notion of accountability is an
amorphous concept that is difficult to define
in precise terms. However, broadly
speaking, accountability exists when there is
a relationship where an individual or body,
and the performance of tasks or functions by
that individual or body, are subject to
another’s oversight, direction or request that
they provide information or justification for
their actions.
Therefore, the concept of accountability
involves two distinct stages: answerability
and enforcement. Answerability refers to
the obligation of the government, its
agencies and public officials to provide
information about their decisions and
actions and to justify them to the public and
those institutions of accountability tasked
1.
with providing oversight.
suggests that the public or the institution
responsible for accountability can sanction
the offending party or remedy the
contravening behavior. As such, different
institutions of accountability might be
responsible for either or both of these stages.
Why is Accountability Important
to Governance?
Evaluating the ongoing effectiveness of
public officials or public bodies ensures that
they are performing to their full potential,
providing value for money in the provision
of public services, instilling confidence in
the government and being responsive to the
community they are meant to be serving.
What types of Accountability?
The concept of accountability can be
classified according to the type of
accountability exercised and/ or the person,
group or institution the public official
answers to. The present debate as to the
content of different forms of accountability
is best conceptualized by reference to
opposing forms of accountability. As such
the main forms of accountability are
described below in reference to their
opposing, or alternate, concept.
Horizontal vs. Vertical Accountability
The prevailing view is that institutions of
accountability, such as parliament and the
judiciary, provide what is commonly termed
horizontal accountability, or the capacity of
a network of relatively autonomous powers
(i.e., other institutions) that can call into
question, and eventually punish, improper
ways of discharging the responsibilities of a
given official. In other words, horizontal
accountability is the capacity of state
institutions to check abuses by other public
agencies and branches of government, or the
requirement for agencies to report sideways.
Alternatively, vertical accountability is the
means through which citizens, mass media
and civil society seek to enforce standards of
good performance on officials.
While parliament is typically considered as a
key institution in constructs of horizontal
accountability, it is also important in vertical
accountability. Citizens and civil society
groups can seek the support of elected
representatives to redress grievances and
intervene in the case of inappropriate or
inadequate action by government. In
addition, through the use of public hearings,
committee investigations and public
petitioning, parliament can provide a vehicle
for public voice and a means through which
citizens and civic groups can question
government and seek parliamentary
sanctioning where appropriate.
Political versus Legal Accountability
Parliament and the judiciary act as
horizontal constitutional checks on the
power of the executive. The role of these
two institutions can be further delineated in
that parliament holds the executive
politically accountable, whilst the judiciary
holds the executive legally accountable.
These classifications stem from the fact
parliament is a political institution, while the
judiciary can only adjudicate on legal issues.
Together, they provide ongoing oversight in
order to keep the government accountable
throughout its term in office. They may also
be aided by other institutions, such as
supreme audit institutions, anti-corruption
commissions, ombuds offices and human
rights institutes. These secondary
‘autonomous institutions of accountability’
are typically designed to be independent of
the executive; in the case of supreme audit
institutions (in ‘Westminster parliamentary
systems’), anti-corruption commissions and
ombuds offices they often report to
parliament while in the cases of supreme
audit institutions in Francophone countries
and human rights institutes, they may be part
of the judiciary.
Political accountability usually manifests
itself in the concept of individual ministerial
2.
responsibility, which is the cornerstone of
the notion of responsible government (see
below).
Another School of Thought: Horizontal
versus Vertical Accountability
A minority of commentators diverge in their
opinion as to what constitutes horizontal and
vertical accountability. An alternate
conception of horizontal and vertical
accountability relies on the relationship
between parties to determine whether one
party exercises horizontal or vertical
accountability over the other. In instances
where there is a classic top-down, principal-
agent relationship, whereby the principal
delegates to the agent, the agent is
accountable to their direct superiors in the
chain-of-command and this constitutes a
form of vertical accountability. For instance
the public official answers to the
department/ agency minister, the department
answers to the minister, the minister answers
to parliament (in particular in parliamentary
systems), and parliament answers to
citizens.
Parliament is again a key actor. In terms of
holding government officials to account,
parliament is the principal and the official
the agent. Parliament, as principal, requires
the government and its officials, as agents,
to implement the laws, policies and
programs it has approved – and holds the
government and officials to account for their
performance in this regard.
Parliament is also an agent, in that the
electorate (the principal) elects legislators to
enact laws and oversee government actions
on their behalf. The electorate then hold
legislators to account at election time and, in
a few jurisdictions, through recall, where
dissatisfied voters can recall their elected
representative and vote for an alternative.
.
The absence of the direct principal-agent
relationship relegates the accountability
relationship to one of horizontal
accountability or social accountability. In
order for there to be social or horizontal
accountability a hierarchical relationship is
generally lacking between actor and forum,
as are any formal obligations to render
account.
Social Accountability
The prevailing view of social accountability
is that it is an approach towards building
accountability that relies on civic
engagement, namely a situation whereby
ordinary citizens and/or civil society
organizations participate directly or
indirectly in exacting accountability. Such
accountability is sometimes referred to it as
society driven horizontal accountability.
The term social accountability is, in a sense,
a misnomer since it is not meant to refer to a
specific type of accountability, but rather to
a particular approach (or set of mechanisms)
for exacting accountability. Mechanisms of
social accountability can be initiated and
supported by the state, citizens or both, but
very often they are demand-driven and
operate from the bottom-up.
It is generally accepted that social
accountability mechanisms are an example
of vertical accountability. However, a
minority of commentators argue that, with
respect to social accountability, a
hierarchical relationship is generally lacking
between actor and forum, as are any formal
obligations to render account. Giving
account to various stakeholders occurs
basically on a voluntary basis with no
intervention on the part of the principal.
Therefore, social accountability would be a
form of horizontal accountability.
Social accountability initiatives are as varied
and different as participatory budgeting,
administrative procedures acts, social audits,
and citizen report cards which all involve
citizens in the oversight and control of
government. This can be contrasted with
government initiatives or entities, such as
citizen advisory boards, which fulfill public
functions.
3.
Often overlooked in considerations of social
accountability is the role that legislators can
play in providing weight to such grass roots
accountability mechanisms. For example, a
Member of Parliament can represent the
concerns of his/her constituents by
questioning a Minister during Question
Period in Parliament or by requesting
information directly from a government
ministry or department.
Diagonal Accountability
The concept of diagonal accountability is far
from settled with two groups of
commentators adopting different definitions.
The literature does not support a
convergence of their ideas. Although, there
is conjecture as to what constitutes diagonal
accountability, the prevailing view is that
diagonal accountability entails vertical
accountability actors. Generally speaking
diagonal accountability seeks to engage
citizens directly in the workings of
horizontal accountability institutions. This
is an effort to augment the limited
effectiveness of civil society’s watch dog
function by breaking the state’s monopoly
over responsibility for official executive
oversight.
The main principles of diagonal
accountability are:
ƒ Participate in Horizontal Accountability
Mechanisms – Community advocates
participate in institutions of horizontal
accountability, rather than creating
distinct and separate institutions of
diagonal accountability. In this way,
agents of vertical accountability seek to
insert themselves more directly into the
horizontal axis.
ƒ Information flow – Community
advocates are given an opportunity to
access information about government
agencies that would normally be limited
to the horizontal axis, for instance
internal performance reviews etc.
Furthermore, they have access to the
deliberations and reasons why
horizontal accountability institutions
 make the decisions they do. Meanwhile,
community advocates bring first hand
experience about the performance of the
government agency to the accountability
process.
ƒ Compel Officials to Answer –
Community advocates co-opt the
horizontal accountability institution’s
authority to compel a government
agency to answer questions (as in the
example given above of an MP
questioning a Minister about issues of
concern to his/her constituents); and
ƒ Capacity to Sanction – Community
advocates acquire the authority of the
horizontal accountability institution to
enforce the findings or influence elected
officials.
Some argue that civil society can strengthen
the effectiveness of horizontal accountability
institutions by pressuring existing agencies
to do their jobs more effectively. This type
of participation in accountability is not
direct action against wrongdoing, as with
vertical accountability, but rather society-
driven horizontal accountability, such as
citizen advisory boards that fulfill public
functions, like auditing government
expenditures or supervising procurement.
More generally, active citizens and civil
society groups can work with elected
representatives to enhance parliaments’
representation role.
A minority of commentators diverge in their
opinion as to what constitutes diagonal
accountability. Some commentators suggest
administrative accountability, exercised
primarily through quasi-legal forums, such
as ombudsmen, auditors, and independent
inspectors reporting directly or indirectly to
parliament or the responsible minister, is a
form of independent and external
administrative and financial oversight and
control. This form of accountability is
different to the classic top-down/ principal-
agent relationship because the administrative
accountability institution is not in a
hierarchical relationship to the public
4.
officials and often do not have formal
powers to coerce public officials into
compliance. It is argued that these
administrative agents are auxiliary forums of
accountability that were instituted to help
the political principals control the great
variety of administrative agents and that
their accountability relations are, therefore, a
form of diagonal accountability.
Social Accountability versus Diagonal
Accountability
Recently the World Bank argued that social
accountability is broad enough to encompass
mechanisms of diagonal accountability. It
was argued that diagonal accountability
mechanisms can also be considered a form
of social accountability.
Considering social accountability is not
meant to refer to a specific type of
accountability, but rather to a particular
approach for exacting accountability, it
might be a broader concept than diagonal
accountability. This lends weight to the idea
that diagonal accountability mechanisms
could be a component of the broader
approach of social accountability.
However, this is contrast to some
commentators who draw a sharp distinction
between social accountability and diagonal
accountability. They argue that the state is
often resistant to citizens poaching its
exclusive oversight domain, instead
encouraging new forms of social
accountability, which they dismiss as being
merely a form of outreach that provides an
opportunity for civil society to inform
government about public perception of
government behavior.
Conclusion
Parliaments are key actors in what has been
termed the ‘chain of accountability’. They
are, along with the judiciary, the key
institution of horizontal accountability, not
only in their own right but also as the
institution to which many autonomous
accountability institutions report. They are
the vehicle through which political Malena, C; R. Forster & J. Singh. 2004.
accountability is exercised. Along with civil Social Accountability: An Introduction to
society organizations and the mass media, the Concept and Emerging Practice.
they are also important institutions in Washington DC: World Bank Social
vertical accountability. Development Papers: Participation and
Civic Engagement No.76.
Newer concepts of accountability have
McNeil, M. & T. Mumvuma. 2006.
emerged: social accountability and diagonal
Demanding Good Governance: A
accountability. The former, defined as
Stocktaking of Social Accountability
‘society driven horizontal accountability’
Initiatives by Civil Society in Anglophone
seeks to provide direct answerability from
Africa. Washington DC: WBI Working
government to citizens; parliaments and
Paper No.37261.
elected representatives are important
vehicles through which citizens and civic World Bank. 2004. State-Society Synergy
groups can also extract enforcement. And – for Accountability: Lessons for the World
no matter how defined – parliaments are one Bank. Washington DC: World Bank
of the institutions through which diagonal Working Paper No.30.
accountability can be exercised. World Bank Institute, 2005. Social
Accountability in the Public Sector.
Further Reading Washington DC: WBI Working Paper
No.33641.
Arroyo, D. & K. Sirker. 2005. Stocktaking of
Social Accountability Initiatives in the This note was written by Rick Stapenhurst
Asia and Pacific Region. Washington DC: (Senior Public Sector Management
WBI Working Paper Specialist, World Bank Institute) and Mitchell
Bovens, M. 2005. “Public Accountability.” O’Brien (Consultant, World Bank Institute).
In Ferlie, Ewan. Laurence E. Lynn, Jr. &
Christopher Pollitt (eds). The Oxford
Handbook of Public Management.
Oxford: Oxford University Press.
Bovens, M. 2006. Analysing and Assessing
Public Accountability: A Conceptual
Framework. European Governance Papers
No. C-06-01
Cavill, S. & M. Sohail. 2004.
“Strengthening Accountability for Urban
Services.” Environment and Urbanization:
16(1).
Goetz, A.M. & J. Gaventa. 2001. Bringing
Citizen Voice and Client Focus into
Service Delivery. Brighton, Sussex: IDS
Working Paper No.138
Goetz, A.M. & R. Jenkins. 2001. “Hybrid
Forms of Accountability: Citizen
Engagement in Institutions of Public-
Sector Oversight in India.” Public
Management Review: 3(3).

5.